Senior Compliance Specialist
4 days ago
About IG Wealth Management
IG Wealth Management is a leading diversified wealth and asset management company with a strong presence in Canada. With a rich history spanning over 90 years, we have grown to become one of the largest and most respected companies in the country.
Our Vision
At IG Wealth Management, our vision is to inspire financial confidence in our clients and stakeholders. We strive to provide the best advice, experience, and outcomes for our clients, personalized throughout their lifetime.
Our Values
We are committed to empowering our employees with the tools to thrive while working remotely. We prioritize physical and mental wellness, recognizing the importance of a healthy work-life balance. Our team is dedicated to excellence, developing and sharing skills and knowledge to drive success.
Job Summary
The Senior Compliance Specialist will play a critical role in supporting the Tier 1 Compliance team. This position involves conducting preliminary reviews and risk assessments of various activities, reports across multiple compliance programs. The successful candidate will identify, investigate, and report compliance-related issues, irregularities, and violations to the appropriate compliance manager.
Key Responsibilities
- Assist in the maintenance and administration of compliance reports and reporting as they relate to the T1 Compliance Team.
- Execute preliminary reviews of compliance-related data using a risk-based approach across various platforms and escalate items of risk to the appropriate T1 Compliance Manager for further review and assessment.
- Collaborate with the T1 Compliance team on projects, activities, and other initiatives, including ad hoc team requirements.
- Participate in internal compliance reviews or external regulatory audits conducted in head office or Branch/Sub-Branch office locations.
Requirements
- 4+ years of experience in a financial services environment.
- Completion of a post-secondary degree or diploma in a relevant business discipline.
- Completion of and/or commitment to complete the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Investment Dealer Supervisors Course (IDSC) within a specified timeframe.
- In-depth knowledge of the financial services industry, including a strong understanding of regulatory compliance requirements.
- Proven analytical and problem-solving skills. Well-developed organization and time-management skills with the ability to prioritize, perform multiple tasks, deal with interruptions, and meet deadlines with limited supervision.
- Demonstrated proficiency in PC applications, including Microsoft Word, Excel, Power Point, Outlook, SharePoint and Teams, agile in learning new systems.
- Strong ability to exercise judgement and maintain confidentiality.
- Must have a positive attitude and collaborative approach to teamwork.
- Bilingual (French) would be considered a strong asset.
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